SEC Form 4 · accession 0001397911-16-000214
LPL Financial Holdings Inc. · LPLA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
George Burton White
Officer — MD, Research
Period of report
Feb 22, 2016
Accepted (ET)
Feb 24, 2016 · 5:47 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001397911
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Feb 22, 2016 | F | 386 | $19.92 | D | 11,358 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Consists of (i) 2,500 shares of Common Stock; (ii) 1,021 restricted stock units that vest in full on February 22, 2017; (iii) 1,733 restricted stock units that vest ratably on February 24, 2016 and February 24, 2017; (iv) 3,990 restricted stock units that vest ratably on March 6, 2016, March 6, 2017, and March 6, 2018; and (v) 2,114 restricted stock units that will vest ratably on each of June 10, 2016, June 10, 2017 and June 10, 2018.
Remarks
The signatory is signing on behalf of George Burton White pursuant to a Power of Attorney dated August 11, 2015, which is filed as Exhibit 24.1 to this filing.